William Walter Gammon

BrokerCheck Report
WILLIAM WALTER GAMMON

CRD# 1811853
Report #85575-76062 , data current as of Friday, September 06 , 2013.
Section Title
Report Summary Broker Qualifications Registration and Employment History Disclosure Events
Pagels)
2-4 5 6
About BrokerCheck BrokerCheck offers information on all current-and many former-FINRA-registered securities brokers , and all current and former FINRA-registered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background of securities brokers and brokerage firms before deciding to conduct , or continue to conduct, business with them . What is included in a BrokerCheck report? BrokerCheck reports for individual brokers include information such as employment history , professional qualifications , disciplinary actions , criminal convictions , civil judgments and arbitration awards. BrokerCheck reports for brokerage firms include information on a firm's profile, history, and operations, as well as many of the same disclosure events mentioned above. Please note that the information contained in a BrokerCheck report may include pending actions or allegations that may be contested , unresolved or unproven. In the end , these actions or allegations may be resolved in favor of the broker or brokerage firm , or concluded through a negotiated settlement with no admission or finding of wrongdoing . Where did this information come from? The information contained in BrokerCheck comes from FINRA's Central Registration Depository , or CRD and is a combination of: o information FINRA and/or the Securities and Exchange Commission (SEC) require brokers and brokerage firms to submit as part of the registration and licensing process , and o information that regulators report regarding disciplinary actions or allegations against firms or brokers. How current is this information? Generally, active brokerage firms and brokers are required to update their professional and disciplinary information in CRD within 30 days. Under most circumstances , information reported by brokerage firms , brokers and regulators is available in BrokerCheck the next business day. What if I want to check the background of an investment adviser firm or investment adviser representative? To check the background of an investment adviser firm or representative , you can search for the firm or individual in BrokerCheck. If your search is successful , click on the link provided to view the available licensing and registration information in the SEC's Investment Adviser Public Disclosure (lAP D) website at http://www.adviserinfo.sec.gov. In the alternative, you may search the IAPD website directly or contact your state securities regulator at http://www.nasaa.org . Are there other resources I can use to check the background of investment professionals? FINRA recommends that you learn as much as possible about an investment professional before deciding to work with them. Your state securities regulator can help you research brokers and investment adviser representatives doing business in your state.
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User Guidance
WILLIAM W. GAMMON
CRD# 1811853
Currently employed by and registered with the following FINRA Firm(s): AMERIPRISE FINANCIAL SERVICES, INC. 1954 GREENSPRING DR STE 200 TIMONIUM, MD 21093-4111 CRD# 6363 Registered with this firm since: 02/05/2010
Report Summary for this Broker
This report summary provides an overview of the broker's professional background and conduct. Additional information can be found in the detailed report.
Broker Qualifications
This broker is registered with:
1 Self-Regulatory Organization 19 U.S. states and territories Is this broker currently suspended or inactive with any regulator? No
Disclosure Events
Disclosure events are certain criminal matters ; regulatory actions ; civil judicial proceedings; customer complaints , arbitrations , or civil litigations; employment terminations ; and financial matters in which the broker has been involved . Are there events disclosed about this broker? Yes
This broker has passed:

0 Principal/Supervisory Exams 3 General Industry/Product Exams 2 State Securities Law Exams
The following types of disclosures have been reported: Type

Customer Dispute
Registration History
This broker was previously registered with FINRA at the following brokerage firms :
Count
15
CENTAURUS FINANCIAL, INC. CRD# 30833 TOWSON , MD OS/2007 - 02/2010 QUESTAR CAPITAL CORPORATION CRD#43100 TOWSON , MD 12/2006 - OS/2007 USALLlANZ SECURITIES, INC. CRD# 40875 TOWSON , MD 08/2001 - 12/2006
Investment Adviser Representative Information

This individual is registered as a broker and an investment adviser representative . For more information about this individual's record as an investment adviser representative, visit SEC's Investment Adviser Public Disclosure website at: http://www.adviserinfo.sec .gov
2013 FINRA. All rights reserved .
Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday, September 06, 201 3.
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User Guidance
Broker Qualifications Registrations

This section provides the self-regulatory organizations (SR Os) and U.S . states/territories the broker is currently registered and licensed with , the category of each reg istration , and the date on which the registratio n became effective. This section also provides , for every brokerage firm with which the broker is curre ntly employed , the address of each branch where the broker works . This individ ual is currently reg istered with 1 SRO and is licensed in 19 U.S. states and territories through his or her employer.
Employment 1 of 1
Firm Name: AMERIPRISE FINANCIAL SERVICES, INC. Main Office Address: 707 2ND AVENUE SOUTH MINNEAPOLIS, MN 55402 Firm CRD#: 6363 SRO FINRA FINRA U.S. State/ Territory Alabama California Delaware Florida Georgia Indiana Kentucky Maryland Minnesota Nevada New Jersey New York Category Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Age nt Status APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED Category General Securities Representative Invest. Co and Variable Contracts Date 01/06/2011 02/05/2010 03/05/2010 02/05/2010 02/05/2010 03/01/2010 03/01/2010 02/05/2010 10106/2011 12/22/2010 02/05/2010 02/05/2010 U.S. Statel Territory North Caroli na Pennsylvania Rhode Island South Carolina Texas Virginia Wash ington Category Agent Agent Agent Agent Agent Agent Agent Status APPROVED APPROVED Status APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED Date 02/05/2010 02/05/2010 Date 02/05/2010 02/05/2010 02/05/2010 02/08/2010 02/05/2010 02/05/2010 02/05/2010
Report# 85575-76062 about WILLIAM W. GAMMON . Data current as of Friday, September 06 , 201 3.
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User Guidance
Employment 1 of 1, continued Branch Office Locations

AMERIPRISE FINANCIAL SERVICES, INC. 1954 GREENSPRING DR STE 200 TIMONIUM , MD 21093-4111
User Guidance
Fln~
Industry Exams this Broker has Passed

This section includes all securities industry exams that the broker has passed. Under limited circumstances , a broker may attain a registration after receiving an exam waiver based on exams the broker has passed and/or qualifying work experience. Any exam waivers that the broker has received are not included below. This individual has passed 0 principal/supervisory exams, 3 general industry/product exams, and 2 state securities law exams.
Principal/Supervisory Exams
Exam No information reported. Category Date
Generallndustry/Product Exams
Exam National Commodity Futures Examination Investment Company ProductslVariable Contracts Representative Examination General Securities Representative Examination Category Series 3 Series 6 Series 7 Date 04/25/1988 10/07/1997 03/11/1998
State Securities Law Exams

Exam Uniform Securities Agent State Law Examination Uniform Investment Adviser Law Examination Category Series 63 Series 65 Date 10/17/1997 06/15/1998
Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found at www.finra.org/brokerqualifications/registeredrep/.
2013 FINRA. All rights reserved.
Reporl# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday, September 06, 2013.
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User Guidance
Registration and Employment History
Registration History
This broker previously was registered with FINRA at the following firms:
Registration Dates
OS/2007 - 02/2010 12/2006 - OS/2007 08/2001 - 12/2006 11/1997 - 09/2001 02/1990 - 03/1995 03/1988 - 02/1990
Firm Name
CENTAURUS FINANCIAL, INC . QUESTAR CAPITAL CORPORATION USALLlANZ SECURITIES , INC . NEW ENGLAND SECURITIES PRUDENTIAL SECURITIES INCORPORATED SHEARSON LEHMAN HUTTON INC .
CRD#
30833 43100 40875 615 7471 7506
Branch Location
TOWSON , MD TOWSON , MD TOWSON , MD NEW YORK, NY NEW YORK, NY NEW YORK, NY
Employment History
Below is the broker's employment history for up to the last 10 years.
Please note that the broker is required to provide this information only while registered with FINRA and the information is not updated after the broker ceases to be registered. Therefore, an employment end date of "Present" may not reflect the broker's current employment status. Employment Dates
02/2010 - Present OS/2007 - 02/2010 12/2006 - OS/2007 06/2006 - OS/2007 08/200 1 - OS/2007
Employer Name
AMERIPRISE FINANCIAL SERVICES , INC . CENTAURUS FINANCIAL, INC . QUESTAR CAPITAL CORPORATION QUEST AR ASSET MANAGEMENT USALLlANZ SECURITIES INC
Employer Location
TIMONIUM , MD ORANGE , CA TOWSON , MD ANN ARBOR , MI MINNEAPOLIS, MN
Other Business Activities

This section includes information , if any , as provided by the broker regarding other business activities the broker is currently engaged in either as a proprietor, partner, officer, director, employee, trustee , agent or otherwise. This section does not include non-investment related activity that is exclusively charitable , civic , religious or fraternal and is recognized as tax exempt. BOARDS OF DIRECTORS ; CHURCH ; NON-PROFIT CHURCH ; TREASURER ; TIMONIUM , MD 21093 ; NO; APRIL 2011 ; 1-9 HRS PER MONTH ; 0 DURING TRADING HRS .
Report# 85575-7606 2 about WILLIAM W. GAMMON . Data current as of Friday, September 06, 2013 .
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User Guidance
Disclosure Events
What you should know about reported disclosure events:

1. Disclosure events are certain criminal matters; regulatory actions; civil judicial proceedings ; customer complaints , arbitrations, or civil litigations; employment terminations ; and financial matters in which the broker has been involved.
2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a broker is required to report a particular criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules or conduct governing the industry and that the activity resulted in damages of at least $5 ,000 . 3. Disclosure events in BrokerCheck reports come from different sources : o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers, brokerage firms and regulators . When more than one of these sources reports information for the same disclosure event, all versions of the event will appear in the BrokerCheck report. The different versions will be separated by a solid line with the reporting source labeled.
4.
There are different statuses and dispositions for disclosure events: o A disclosure event may have a status of pending, on appeal, or final. A "pending" disclosure event involves allegations that have not been proven or formally adjudicated. A disclosure event that is "on appeal" involves allegations that have been adjudicated but are currently being appealed . A "final" disclosure event has been concluded and its resolution is not subject to change . o A final disclosure event generally has a disposition of adjudicated, settled or otherwise resolved. An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or (2) an administrative panel in an action brought by a regulator that is contested by the party charged with some alleged wrongdoing . A "settled" matter generally represents a disposition wherein the parties involved in a dispute reach an agreement to resolve the matter. Please note that brokers and brokerage firms may choose to settle customer disputes or regulatory matters for business or other reasons . A "resolved" matter usually includes a disposition wherein no payment is made to the customer or there is no finding of wrongdoing on the part of the individual broker. Such matters generally involve customer disputes.
For your convenience, below is a matrix of the number and status of disclosure events involving this broker. Further information regarding these disclosure events can be found in the subsequent pages of this report. You also may wish to contact the broker to obtain further information regarding the disclosure events.
2 013 FINRA. All rights reserved .
Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday, September 06 , 2013.
User Guidance
Pending
Customer Dispute
Final
On Appeal
N/A
11
Report# 85575-76062 about WILLIAM W. GAMMON. Data current as af Friday, September 06, 201 3.
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User Guidance
Disclosure Event Details

When evaluating this information , please keep in mind that a discloure event may be pending or involve allegations that are contested and have not been resolved or proven. The disclosure event may, in the end , be withdrawn , dismissed , resolved in favor of the broker, or concluded through a negotiated settlement for certain business reasons (e .g., to maintain customer relationships or to limit the litigation costs associated with disputing the allegations) with no admission or finding of wrongdoing . This report provides the information exactly as it was reported to CRD and therefore some of the specific data fields conta ined in the report may be blank if the information was not provided to CRD .
Customer Dispute - Settled

This type of disclosure event involves a consumer-initiated , investment-related complaint, arbitration proceeding or civil suit containing allegations of sale practice violations against the broker that resulted in a monetary settlement to the customer. Disclosure 1 of 8 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations : Firm CENTAURUS FINANCIAL, INC .
CUSTOMER PURCHASED INVESTMENTS IN 2008 AND 2009 . IN 2012 , UNFORESEEN EVENTS LED CUSTOMER TO NEED LIQUIDITY. CUSTOMER ALLEGED SHE DIDN'T REALIZE THE INVESTMENTS WERE ILLIQUID. CENTAURUS MET CUSTOMER'S NEED FOR LIQUIDITY BY PURCHASING CERTAIN INVESTMENTS DIRECTLY. Real Estate Security $0.00 CUSTOMER DID NOT ALLEGE A COMPENSATORY DAMAGE AMOUNT. CUSTOMER EXPRESSED A NEED FOR LIQUIDITY AND CENTAURUS AGREED TO MEET HER NEED FOR LIQUIDITY BY PURCHASING CERTAIN INVESTMENTS. Yes No No
Product Type: Alleged Damages: Alleged Damages Amount Explanation (if amount not exact): Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation?
Customer Complaint Information

201 3 FINRA. All rights reserved. Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday, September 06 , 201 3.
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User Guidance
Date Complaint Received: Complaint Pending? Status: Status Date: Settlement Amount: Individual Contribution Amount: Summary:
03/07/2013 No Settled 05/30/2013 $66,408 .98 $0.00 THE FIRM MADE A SECOND SETTLEMENT WITH THE CUSTOMER FOR $49 ,020 ON JULY 16, 2013.
Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:
Broker CENTAURUS FINANCIAL, INC.
CUSTOMER PURCHASED INVESTMENTS IN 2008 AND 2009. IN 2012, UNFORESEEN EVENTS LED CUSTOMER TO NEED LIQUIDITY. CUSTOMER ALLEGED SHE DIDN'T REALIZE THE INVESTMENTS WERE ILLIQUID. CENTAURUS MET CUSTOMER'S NEED FOR LIQUIDITY BY PURCHASING CERTAIN INVESTMENTS DIRECTLY. Real Estate Security $0.00 CUSTOMER DID NOT ALLEGE A COMPENSATORY DAMAGE AMOUNT. CUSTOMER EXPRESSED A NEED FOR LIQUIDITY AND CENTAURUS AGREED TO MEET HER NEED FOR LIQUIDITY BY PURCHASING CERTAIN INVESTMENTS. Yes No No

Date Complaint Received: Complaint Pending? Status:
2 01 3 FINRA. All rights reserved.
03/07/2013 No Settled
Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday, September 06 ,201 3.
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User Guidance
Status Date: Settlement Amount: Individual Contribution Amount: Disclosure 2 of 8 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:
05/30/2013 $17 ,388.98 $0.00
Firm QUESTAR CAPITAL CORPORATION , CENTAURUS FINANCIAL, INC .
THE COMPLAINT ALLEGES THAT THE REITS PURCHASED BETWEEN DECEMBER 2006 AND NOVEMBER 2008 WERE NOT SUITABLE. THE CLAIM ALLEGES FRAUD, MISREPRESENTATION, NEGLIGENCE AND NEGLIGENT SUPERVISION . Real Estate Security $300 ,000.00
Product Type: Alleged Damages:
Arbitration Information
Arbitration/CFTC reparation claim filed with (FINRA, AAA, CFTC, etc.): Docket/Case #: Date Notice/Process Served: Arbitration Pending? Disposition : Disposition Date: Monetary Compensation Amount: FINRA
12-02318 07/16/2012 No Settled 07/22/2013 $32 ,500 .00
Individual Contribution $0 .00 Amount: ........ .. ........ ...... ...... ...... ......................................................... ....... . Reporting Source: Broker
10
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User Guidance
Employing firm when activities occurred which led to the complaint: Allegations:
QUESTAR CAPITAL CORPORATION , CENTAURUS FINANCIAL, IN C.
THE COMPLAINT ALLEGES THAT THE REITS PURCHASED BETWEEN DECEMBER 2006 AND NOVEMBER 2008 WERE NOT SUITABLE. THE CLAIM ALLEGES FRAUD, MISREPRESENTATION, NEGLIGENCE AND NEGLIGENT SUPERVISION.
Real Estate Security
$300 ,000.00
Arbitration/CFTC reparation claim filed with (FINRA, AAA, CFTC, etc.): Docket/Case #: Date Notice/Process Served: Arbitration Pending? Disposition: Disposition Date : Monetary Compensation Amount: Individual Contribution Amount: Disclosure 3 of 8 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: Firm
FINRA
12-02318
07/16/2012
No Settled
07/22/2013
$32 ,500 .00 $0 .00
CENTAURUS FINANCIAL, INC. , QUESTAR CAPITAL CORPORATION , USALLlANZ SECURITIES , INC . ALLEGATIONS OF FRAUD , MISREPRESENTATION, NEGLIGENCE AND NEGLIGENT SUPERVISION WHEN THE INVESTMENTS WERE PURCHASED BETWEEN 2006 AND 2008 .
Real Estate Secu rity
$595 ,000.00
2013 FI NRA. All rights reserved.
Report# 85575-76 062 about WILLIAM W. GAMMON. Data current as of Frid ay, September 06, 201 3.
11
User Guidance
Arbitration/CFTC reparation claim filed with (FINRA, AAA, CFTC, etc.): Docket/Case #: Date Notice/Process Served: Arbitration Pending? Disposition: Disposition Date: Monetary Compensation Amount: Individual Contribution Amount: Summary: FINRA DISPUTE RESOLUTION
12-00140 01/27/2012 No Settled 04/02/2013 $40 ,000 .00 $0.00 CENTAURUS FINANCIAL, INC . SETTLED FOR $200,000 ON APRIL 29 , 2013. REPRESENTATIVE DID NOT CONTRIBUTE TO THIS SETTLEMENT.
Firm USALLlANZ SECURITIES INC , QUESTAR CAPITAL CORPORATION , CENTAURUS FINANCIAL CLIENT ALLEGED FRAUD , MISREPRESENTATION, NEGLIGENCE, NEGLIGENT SUPERVISION AND VIOLATION OF THE MARYLAND SECURITIES ACT IN THE SALE OF VARIOUS REITS BETWEEN 01/18/2006 AND 11/03/2008. Real Estate Security $595 ,000 .00
Arbitration/CFTC reparation claim filed with (FINRA, AAA, CFTC, etc.): Docket/Case #: Date Notice/Process Served: Arbitration Pending?
FINRA
12-00140 01/27/2012 No
Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday , September 06 , 201 3. 12
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User Guidance
Disposition: Disposition Date: Monetary Compensation Amount: Individual Contribution Amount:
Settled 04/02/201 3 $40 ,000 .00 $0 .00
Broker US ALLlANZ SECURITIES INC , QUESTAR CAPITAL CORPORATION , CENTAURUS FINANCIAL CLIENT ALLEGED FRAUD , MISREPRESENTATION , NEGLIGENCE , NEGLIGENT SUPERVISION AND VIOLATION OF THE MARYLAND SECURITIES ACT IN THE SALE OF VARIOUS REiTS BETWEEN 01/18/2006 AND 11/03/2008. Real Estate Security $595 ,000 .00
Arbitration/CFTC reparation claim filed with (FINRA, AAA , CFTC, etc.): Docket/Case #: Date Notice/Process Served: Arbitration Pending? Disposition: Disposition Date: Monetary Compensation Amount: Individual Contribution Amount: Disclosure 4 of 8 Reporting Source:
FINRA
12-00140 01/27/2012 No Settled 04/02/2013 $40 ,000 .00 $0 .00
Firm
Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday , September 06, 2013. 13
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User Guidance
QUESTAR CAPITAL CORPORATION
ALLEGED SALE OF UNREGISTERED SECURITIES , FRAUD , UNSUITABLE RECOMMENDATION , MISREPRESENTATION AND OMISSION OF MATERIAL INFORMATION , BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY AND NEGLIGENCE IN THE SALE OF FOUR REAL ESTATE INVESTMENT TRUSTS BETWEEN 7/4/2006 AND 4/30/2007. Real Estate Security $255 ,000.00 No Yes Yes FINRA 11-04444 11/22/2011
Product Type: Alleged Damages: Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation? Arbitration/Reparation forum or court name and location: Docket/Case #: Filing date of arbitration/CFTC reparation or civil litigation:

Date Complaint Received: Complaint Pending? Status: Status Date: Settlement Amount:
12/13/2011 No Settled 03/13/2013 $72 ,500 .00
$0 .00 Individual Contribution Amount: .................................................... . ........ . ...... . . ................ .... ........................ ...... ............................................ . ...................................... . .............. . ...... . . . ........ ...... . ..............
Reporting Source: Employing firm when activities occurred which led to the complaint:
2 01 3 FINRA. All rights reserved .
Broker QUESTAR CAPITAL CORPORATION
Report# 85575-76062 about WILLIAM W. GAMMON . Data current as of Friday, September 06,2 01 3.
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User Guidance
Allegations:
ALLEGED SALE OF UNREGISTERED SECURITIES , FRAUD , UNSUITABLE RECOMMENDATION , MISREPRESENTATION AND OMISSION OF MATERIAL INFORMATION , BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY AND NEGLIGENCE IN THE SALE OF FOUR REAL ESTATE INVESTMENT TRUSTS BETWEEN 7/4/2006 AND 4/30/2007.
$255 ,000 .00 No

Yes Yes
FINRA 11-04444 11/22/2011

Date Complaint Received: Complaint Pending? Status: Status Date: Settlement Amount: Individual Contribution Amount: Disclosure 5 of 8 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations :
Firm
12/13/2011 No
Settled
03/13/2013 $72,500.00 $0.00
CENTAURUS FINANCIAL, INC.
ALLEGATIONS OF VIOLATIONS OF FEDERAL SECURITIES LAWS AND STATE OF MARYLAND'S LAWS ,BREACH OF CONTRACT, BREACH OF
Report# 85575-76062 about WILLIAM W. GAMMON. Data current as af Friday, September 06 , 201 3. 15
201 3 FINRA. All rights reserved.
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User Guidance
FIDUCIARY DUTY, NEGLIGENCE AND COMMON LAW FRAUD WHEN THE CLAIMANTS PURCHASED INVESTMENTS IN 2007 AND 2008 FROM THE REPRESENTATIVE.
Real Estate Security $450 ,015.00 No No Yes FINRA DISPUTE RESOLUTION 11-04445 11/22/2011

Date Complaint Received: Complaint Pending? Status: Status Date: Settlement Amount: Individual Contribution Amount:
12/12/2011 No Settled 11/09/2012 $25 ,000.00 $0 .00
Broker CENTAURUS FINANCIAL, INC .
ALLEGATIONS OF VIOLATIONS OF FEDERAL SECURITIES LAWS AND STATE OF MARYLAND'S LAWS ,BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, NEGLIGENCE AND COMMON LAW FRAUD WHEN THE CLAIMANTS PURCHASED INVESTMENTS IN 2007 AND 2008 FROM THE REPRESENTATIVE .
Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday, September 06 , 201 3. 16
User Guidance

$450 ,015.00
No No Yes FINRA DISPUTE RESOLUTION

11-04445
11/22/2011

Date Complaint Received: Complaint Pending? Status: Status Date: Settlement Amount: Individual Contribution Amount: Disclosure 6 of 8 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: 12/12/2011
No Settled
11/09/2012
$25 ,000 .00 $0 .00
Firm QUESTAR CAPITAL CORPORATION AND CENTAURUS FINANCIAL
CLIENT ALLEGES THE SALE OF A CORPORATE NOTE AND A REAL ESTATE INVESTMENT TRUST WERE UNSUITABLE BECAUSE OF A RESULTING OVER-CONCENTRATION IN ILLIQUID REAL ESTATE RELATED INVESTMENTS. Debt-Corporate Real Estate Security
$400 ,000 .00
Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday, September 06, 201 3. 17

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User Guidance
Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation?
No Yes No

Date Complaint Received: Complaint Pending? Status: Status Date: Settlement Amount: Individual Contribution Amount: 12/16/2009 No Evolved into Arbitration/CFTC reparation (the individual is a named party) 02/22/2010
Arbitration/CFTC reparation claim filed with (FINRA, AAA, CFTC, etc.): Docket/Case #: Date Notice/Process Served: Arbitration Pending? Disposition: Disposition Date: Monetary Compensation Amount: Individual Contribution Amount: FINRA
10-00645 02/22/2010 No Settled 03/15/2011 $250,000.00 $0.00
Firm CENTAURUS FINANCIAL AND QUESTAR CAPITAL CORPORATION
CLIENT ALLEGES THE SALE OF A CORPORATE NOTE AND A REAL ESTATE

Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday, September 06 , 2013. 18
User Guidance
INVESTMENT TRUST WERE UNSUITABLE BECAUSE OF A RESULTING OVER-CONCENRATION IN ILLIQUID REAL ESTATE RELATED INVESTMENTS. Product Type: Alleged Damages: Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation? Debt-Corporate Real Estate Security $400 ,000.00 No Yes No

Date Complaint Received: Complaint Pending? Status: Status Date: Settlement Amount: Individual Contribution Amount: 12/16/2009 No Evolved into Arbitration/CFTC reparation (the individual is a named party) 02/09/2010
Arbitration/CFTC reparation claim filed with (FINRA, AAA, CFTC, etc.): Docket/Case #: Date Notice/Process Served: Arbitration Pending? Disposition: Disposition Date: Monetary Compensation Amount: Individual Contribution Amount: Summary:
FINRA
10-00645 02/17/2010 No Settled 03/15/2011 $250,000.00 $0 .00 CLIENTS WERE COMPLETELY INFORMED OF .A,LL RISKS AND REWARDS POTENTIATAE IN A FAIR AND BALANCED MANNER PRIOR TO ANY
Report# 85575-76062 about WILLIAM W. GAMMON . Data current as of Friday, September 06, 2013.
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User Guidance
TRANSACTIONS OCCURING.
Broker CENTAURUS FINANCIAL AND QUESTAR CAPITAL CORPORATION
CLIENT ALLEGES THE SALE OF A CORPORATE NOTE AND A REAL ESTATE INVESTMENT TRUST WERE UNSUITABLE BECAUSE OF A RESULTING OVER-CONCENRATION IN ILLIQUID REAL ESTATE RELATED INVESTMENTS. Debt-Corporate Real Estate Security $400 ,000.00 No Yes No
Product Type: Alleged Damages: Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation?

12/16/2009
No Evolved into ArbitrationlCFTC reparation (the individual is a named party)

02/09/2010
Arbitration/CFTC reparation claim filed with (FINRA, AAA, CFTC, etc.): Docket/Case #: Date Notice/Process Served: Arbitration Pending?
FINRA
10-00645
02/17/2010
No
Report# 85575-76062 about WILLIAM W. GAMMON . Data current as of Friday , September 06 , 201 3. 20
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User Guidance
Disposition: Disposition Date: Monetary Compensation Amount: Individual Contribution Amount: Summary:
Settled 03/15/2011 $250,000.00 $0 .00 CLIENTS WERE COMPLETELY INFORMED OF ALL RISKS AND REWARDS POTENTIATAE IN A FAIR AND BALANCED MANNER PRIOR TO ANY TRANSACTIONS OCCURING .
Disclosure 7 of 8 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: Product Type: Alleged Damages:
FRAUD , BREACH OF FIDUCIARY DUTY ALLEGED DAMAGES - UNSPECIFIED Firm

No Litigation
Civil Litigation Information

Court Details: Date Notice/Process Served: Litigation Pending? Disposition:
VIGO SUPERIOR; IN ; 84-D01-0107-CT-968 07/15/1991 No Settled

Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday, September 06 ,2013. 21
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User Guidance
Disposition Date: Monetary Compensation Amount: Individual Contribution Amount: Summary:
01/01/1995 $176 ,500.00
THE CLAIMS WERE SETTLED FOR $176,500 WI TH NO ADMISSION OF LIABILITY NO COMMODITIES INVOLVED ONLY STOCKS AND COVERED CALLS . CONTACT: SUSAN E. HARKINS (212) 816-8006
Broker SHEARSON LEHMAN BROTHERS AND AMERICAN EXPRESS
FRAUD-BREACH OF FIDUCIARY DUTY CIVIL LITIGATION ALLEGING FRAUD BREACH OF FIDUCIARY DUTY CLIENT ALLEGED SHE DID NOT UNDERSTAND RISKS OF COVERED CALL WRITING . SHE HAD PRIFITED FROM PRIOR TRANSACTIONS AND HAD NET WORTH EXCEEDING OF $1 ,500 ,000 .00. SHE HAD BEEN FULLY INFORMED OF ALL RISKS SIGNED OPTIONS AGREEMENT AND WAS REGULARRL Y COMMUNICATED WITH CLEARLY UNDERSTANDING . NO DAMAGE AMOUNT SPECIFIED Options COVERED CALL WRITING-UNITED AIRLINES
Product Type: Other Product Type(s): Alleged Damages:

07/15/1991 No Litigation 04/07/1995 $176 ,500.00 $0.00
Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday , September 06 , 201 3.
22
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User Guidance

Court Details: Date Notice/Process Served: Litigation Pending? Disposition: Disposition Date: Monetary Compensation Amount: Individual Contribution Amount: Summary: VIGO SUPERIOR COURT STATE OF INDIANA; IN ; 84-D01-0107-CT-968 07/15/1991 No Dismissed 04/07/1995 $176,500 .00 $0 .00 SHEARSON AND AMERICAN EXPRESS WERE DISMISSED ON APRIL 7, 1995. HOWEVER SHEARSON' S DISMISSAL WAS A RESULT OF A SETTLEMENT AGREEMENT OF $176,500 .00 CLIENT ALLEGED SHE DID NOT UNDERSTAND RISKS OF COVERED CALL WRITING , SHE HAD PROFITED FROM PRIOR TRANSACTIONS AND HAD A NET WORTH EXCEEDING $1,500 ,000 .00. SHE HAD BEEN FULLY INFORMED OF ALL RISKS , AND SIGNED AN OPTION AGREEMENT. SHE WAS REGULARLY AND FREQUENTLY COMMUNICATED WITH DURING HER EXPOSURE AND CLEARLY UNDERSTOOD HER LOSSES AS WELL AS HER FORMER GAINS. AFTER FOUR YEARS OF WAITING I NEVER GOT A CHANCE TO PRESENT THE FACTS TO A JUDGE & JURY. I WAS RELEASED PRIOR TO SHEARSON AGREEING TO A SETTLEMENT.
Disclosure 8 of 8 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: FRAUD, BREACH OF FIDUCIARY DUTY FRAUD IN FACTUM ALLEGED DAMAGES - UNSPECIFIED Firm

2013 FINRA. All rights reserved. Report# 85575-76062 about WILLIAM W. GAMMON . Data current as o f Friday, September 06 ,2013. 23
User Guidance

No Litigation

Court Details: Date Notice/Process Served: Litigation Pending? Disposition: Disposition Date: Monetary Compensation Amount: Individual Contribution Amount: Summary:
THE CLAIMS WERE SETTLED FOR $138 ,500 WITH NO ADMISSION OF LIABILITY. NO COMMODITIES INVOLVED ONLY STOCKS AND COVERED CALLS . CONTACT: SUSAN E. HARKINS (212) 816-8006 VIGO SUPERIOR ; 84-001-91 08-CT-1134
08/08/1991
No Settled
01/01/1995
$138,500.00
Broker SHEARSON LEHMAN BROTHERS INC AND AMERICAN EXPRESS
FRAUD-BREACH OF FIDUCIARY DUTY-FRAUD IN THE FACTUM CIVIL LITIGATION ALLEGING FRAUD BREACH OF FIDUCIARY DUTY-FRAUD IN THE FACTUM CLIENT ALLEGED SHE DID NOT UNDERSTAND RISKS OF COVERED CALL WRITING. SHE HAD PROFITIED FROM PRIOR TRANSACTIONS AND WAS AA PRACTICING ACCOUNTANT. SHE HAD BEEN
24
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User Guidance
FULLY INFORMED OF ALL RISKS AND HAD SIGNED AN OPTIONS AGREEMENT .
Product Type: Other Product Type(s): Alleged Damages:
Options COVERED CALLWRITING-UNITED AIRLINES $143 ,000.00

08/07/1991 No Litigation 04/07/1995 $138 ,500 .00 $0.00

Court Details: Date Notice/Process Served: Litigation Pending? Disposition: Disposition Date: Monetary Compensation Amount: Individual Contribution Amount: Summary:
VIGO SUPERIOR COURT STATE OF INDIANA; CAUSE #84-D01-9108-CT-1134 08/08/1991 No Dismissed 04/07/1995 $138 ,500.00 $0.00
SHEARSON AND AMERICAN EXPRESS WERE DISMISSED ON APRIL 7, 1995, HOWEVER SHEARSON ' S DISMISSAL WAS A RESULT OF A SETTLEMENT AGREEMENT OF $138 ,500.00 CLIENT ALLEGED SHE DID NOT UNDERSTAND RISK OF COVERED CALL WRITING , SHE HAD PROFITED FROM PRIOR TRANSACTIONS AND WAS A PRACTICING ACCOUNTANT. SHE HAD BEEN FULLY INFORMED OF ALL RISKS AND HAD SIGNED AN OPTION AGREEMENT. AFTER FOUR YEARS OF WAITING I NEVER GOT A CHANCE TO PRESENT THE FACTS TO
A
JUDGE OR JURY. I WAS RELEASED PRIOR TO SHEARSON AGREEING TO A
201 3 FINRA. All rights reserved. Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday, September 06 , 201 3. 25
User Guidance
SETTLEMENT. I WAS DISMISSED ON 4/7/1995 AFTER PLANTIFFS COUNCIL FILED STIPULATION FOR MY DISMISSAL ON 3/28/1995 . I DID NO WRONG . AFTER FOUR YEARS OF WAITING I NEVER GOT A CHANCE TO PRESENT MY FACTS TO A JUDGE OR JURY. LATER SHEARSON AND AMERICAN EXPRESS AGREED TO A SETTLEMENT AND THE CASE WAS DISMISSED.
Report# 85575-76062 about WILLIAM W. GAMMON . Data current as of Friday, September 06 , 2013.
26
User Guidance
Customer Dispute - Closed-No ActionlWithdrawnlDismissed/Denied

This type of disclosure event involves (1) a consumer-initiated , investment-related arbitration or civil suit containing allegations of sales practice violations against the individual broker that was dismissed , withdrawn , or denied ; or (2) a consumer-initiated , investment-related written complaint containing allegations that the broker engaged in sales practice violations resulting in compensatory damages of at least $5 ,000 ; forgery , theft, or misappropriation ; or conversion of funds or securities that was closed without action, withdrawn , or denied .
Disclosure 1 of 3 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:
Firm CENTAURUS FINANCIAL, INC .
CLIENT CLAIMS THAT THE REPRESENTATIVE DID NOT DISCLOSE THE ILLIQUID NATURE OF THE INVESTMENTS WHEN PURCHASED IN 2008 AND 2009 . Real Estate Security $0.00 NO DAMAGES WERE ALLEGED IN THE CUSTOMER'S LETTER .
No Yes No

02/23/2012
No Closed/No Action
08/07/2012
. . . . . . . . .. ...... .. ...... II . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . .. .. .... .... .. .. . . . . . . . . ..
Reporting Source:
Broker
Report# 85575-76062 about WILLIAM W. GAMMON . Data current as of Friday, September 06 , 2013. 27
User Guidance
CENTAURUS FINANCIAL, INC.
CLIENT CLAIMS THAT THE REPRESENTATIVE DID NOT DISCLOSE THE ILLIQUID NATURE OF THE INVESTMENTS WHEN PURCHASED IN 2008 AND 2009. Real Estate Security $0 .00 NO DAMAGES WERE ALLEGED IN THE CUSTOMER'S LETTER.
No Yes No

Date Complaint Received: Complaint Pending? Status: Status Date: Settlement Amount: Individual Contribution Amount: Disclosure 2 of 3 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: Broker AMERIPRISE FINANCIAL SERVICES, INC . 02/23/2012 No Closed/No Action 08/07/2012
THE CLIENT ALLEGED HE WAS NOT INFORMED HIS REIT PURCHASES IN 2010 WERE ILLIQUID. COMPLAINT REFERRED TO ADVISOR'S PREVIOUS EMPLOYER WHERE REITS WERE PURCHASED . Real Estate Security
Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday, September 06 , 2013. 28
Product Type:
User Guidance
Alleged Damages: Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation?
$150 ,000 .00 No Yes No

Date Complaint Received: Complaint Pending? Status: Status Date: Settlement Amount: Individual Contribution Amount: Disclosure 3 of 3 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: Firm CENTAURUS FINANCIAL, INC . 09/15/2011 No Closed/No Action 09/20/2011
THE INVESTMENT PRODUCT PURCHASED IN JULY, 2007 WAS NOT SUITABLE BASED ON THE CLIENT'S INVESTMENT OBJECTIVE FOR MONTHLY INCOME. THE REPRESENTATIVE FAILED TO PROCESS HER 401 K ROLLOVER PROPERLY WHICH RESULTED IN TAX CONSEQUENCES . Real Estate Security $17, 500 .00 No Yes No

Date Complaint Received:
2013 FIN RA. All rig hts rese rved.
02/17/2011
Re port# 85575-76062 about WILLIAM W. GAM MON. Data current as of Frid ay, September 06, 2013.
29
User Guidance
Complaint Pending? Status: Status Date: Settlement Amount: Individual Contribution Amount:
No Closed/No Action 11/22/2011
Broker CENTAURUS FINANCIAL , INC.
THE INVESTMENT PRODUCT PURCHASED IN JULY , 2007 WAS NOT SUITABLE BASED ON THE CLIENT'S INVESTMENT OBJECTIVE FOR MONTHLY INCOME. THE REPRESENTATIVE FAILED TO PROCESS HER 401 K ROLLOVER PROPERLY WHICH RESULTED IN TAX CONSEQUENCES.
Real Estate Security $17,500.00 No Yes No

02/17/2011 No Closed/No Action 11/22/2011
30
User Guidance
Customer Dispute - Pending

This type of disclosure event involves (1) a pending consumer-initiated , investment-related arbitration or civil suit that contains allegations of sales practice violations against the broker; or (2) a pending , consumer-initiated , investmentrelated written complaint containing allegations that the broker engaged in , sales practice violations resulting in compensatory damages of at least $5 ,000; forgery , theft , or misappropriation ; or conversion of funds or securities. Disclosure 1 of 4 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: Firm CENTAURUS FINANCIAL, INC.
ALLEGATIONS INCLUDE UNSUITABLE INVESTMENTS OF CLAIMANT'S RETIREMENT SAVINGS , FRAUD , MISREPRESENTATION , NEGLIGENCE AND VIOLATION OF MARYLAND SECURITIES ACT FOR TRANSACTIONS EFFECTED IN 2008 . Equipment Leasing Real Estate Security $0 .00 DAMAGES WERE NOT SPECIFIED .
Product Type: Alleged Damages: Alleged Damages Amount Explanation (if amount not exact):
Arbitration/CFTC reparation claim filed with (FINRA, AAA, CFTC, etc.): Docket/Case #: Date Notice/Process Served: FINRA
13-00530 03/07/2013
Arbitration Pending? Yes ....................................................................................................................................... Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: Broker CENTAURUS FINANCIAL, INC.
ALLEGATIONS INCLUDE UNSUITABLE INVESTMENTS OF CLAIMANT'S RETIREMENT SAVINGS , FRAUD , MISREPRESENTATION , NEGLIGENCE AND
Report# 85575-76062 about WILLIAM W. GAMMON . Data current as of Friday , September 06, 201 3. 31
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VIOLATION OF MARYLAND SECURITIES ACT FOR TRANSACTIONS EFFECTED IN 2008. Product Type: Alleged Damages: Alleged Damages Amount Explanation (if amount not exact):
Equipment Leasing Real Estate Security
$0.00 DAMAGES WERE NOT SPECIFIED.
Arbitration/CFTC reparation claim filed with (FINRA, AAA, CFTC , etc.): Docket/Case #: Date Notice/Process Served: Arbitration Pending? FINRA
13-00530 03/07/201 3 Yes
Disclosure 2 of 4 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: Firm CENTAURUS FINANCIAL, INC .
ALLEGATIONS OF MISREPRESENTATION, UNSUITABLE RECOMMENDATIONS , BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, NEGLIGENCE AND FRAUD WERE CITED BY THE CLAIMANTS FOR THE INVESTMENTS PURCHASED IN 2007 .
Equipment Leasing Real Estate Security
$140 ,005.00 No No
Yes
2013 FINRA. All rights rese rved.
Report# 85575-76 062 about WILLIAM W. GAM MON. Data current as of Friday, September 06, 201 3.
32
User Guidance
Arbitration/Reparation forum or court name and location: Docket/Case #: Filing date of arbitration/CFTC reparation or civil litigation:
FINRA 12-02854
08/03/2012

Date Complaint Received: Complaint Pending? Settlement Amount: Individual Contribution Amount:
08/21/201 2
Yes
ALLEGATIONS OF MISREPRESENTATION , UNSUITABLE RECOMMENDATIONS , BREACH OF CONTRACT, BREACH OF FIDUC IAR Y DUTY, NEGLIGENCE AND FRAUD WERE CITED BY THE CLAIMANTS FOR THE INVESTMENTS PURCHASED IN 2007 . Equipment Leasing Real Estate Security $1 40,005 .00 No No Yes FINRA 12-02854
Product Type: Alleged Damages: Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation? Arbitration/Reparation forum or court name and location: Docket/Case #:
Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Frid ay, September 06, 201 3.
33
User Guidance
Filing date of arbitration/CFTC reparation or civil litigation:
08/03/2012

Date Complaint Received: Complaint Pending? Settlement Amount: Individual Contribution Amount: Disclosure 3 of 4 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:
08/21/2012 Yes
Firm CENTAURUS FINANCIAL, INC .
ALLEGATIONS OF VIOLATIONS OF FEDERAL SECURITIES LAWS AND MARYLAND SECURITIES ACT , BREACH OF CONTRACT, COMMON LAW FRAUD , BREACH OF FIDUCIARY DUTY AND NEGLIGENCE IN THE SALE OF REAL ESTATE INVESTMENT TRUSTS AND EQUIPMENT LEASING LIMITED PARTNERSHIPS PURCHASED IN 2007 AND 2008 . Equipment Leasing Real Estate Security $410 ,015.00 No No Yes FINRA 12-01544 04/25/2012

2013 FINRA. All rights rese rved . Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday, September 06 , 201 3.
34
User Guidance
Date Complaint Received: Complaint Pending? Settlement Amount: Individual Contribution Amount:
05/14/2012 Yes
ALLEGATIONS OF VIOLATIONS OF FEDERAL SECURITIES LAWS AND MARYLAND SECURITIES ACT , BREACH OF CONTRACT, COMMON LAW FRAUD , BREACH OF FIDUCIARY DUTY AND NEGLIGENCE IN THE SALE OF REAL ESTATE INVESTMENT TRUSTS AND EQUIPMENT LEASING LIMITED PARTNERSHIPS PURCHASED IN 2007 AND 2008. Equipment Leasing Real Estate Security $410 ,015 .00
Product Type : Alleged Damages: Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation? Arbitration/Reparation forum or court name and location: Docket/Case #: Filing date of arbitrationlCFTC reparation or civil litigation:
No No
Yes FINRA 12-01544 04/25/2012

Date Complaint Received: Complaint Pending? Settlement Amount: Individual Contribution
2013 FINRA. All rights reserved . Report# 85575-76062 about WILLIAM W. GAMMON. Data current as of Friday , September 06 , 201 3. 35
05/14/2012 Yes
User Guidance
Amount: Disclosure 4 of 4 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: Product Type: Alleged Damages: Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation? Firm CENTAURUS FINANCIAL, INC.
CLIENT ALLEGES THAT THE REPRESENTATIVE MISREPRESENTED THE INVESTMENT PURCHASED IN MARCH , 2009 . NO SPECIFIC DAMAGES ..
$0.00
No
Yes
No

Date Complaint Received: Complaint Pending? Settlement Amount: Individual Contribution Amount: .................. .......... .... ......................... .. .......... ............................................... ...... .. ... ........ Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: Product Type: Alleged Damages: Is this an oral complaint? Is this a written complaint?
11/02/2011 Yes
Broker
CENTAURUS FINANCIAL, INC .
CLIENT ALLEGES THAT THE REPRESENTATIVE MISREPRESENTED THE INVESTMENT PURCHASED IN MARCH , 2009 . NO SPECIFIC DAMAGES ..
$0.00
No
Yes
36
User Guidance
Is this an arbitration/CFTC reparation or civil litigation?
No

Date Complaint Received: Complaint Pending? Settlement Amount: Individual Contribution Amount: 11/02/2011 Yes
37
User Guidance
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Report# 85575-76062 about WILLIAM W. GAM MON . Data cu rrent as of Friday, September 06 , 2013.
38

William Walter Gammon - FINRA BrokerCheck Report

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William Walter Gammon - FINRA BrokerCheck Report

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BrokerCheck Report

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Report Summary for this Broker

This broker has passed:

The following types of disclosures have been reported: Type

Investment Adviser Representative Information

2013 FINRA. All rights reserved .

www .finra .orQ/brokercheck

Broker Qualifications Registrations

2013 FINRA. All rights reserved .

Employment 1 of 1, continued Branch Office Locations

2013 FINRA. All rights reserved .

Industry Exams this Broker has Passed

State Securities Law Exams

2013 FINRA. All rights reserved.

www .finra .orq/brokercheck

Registration and Employment History

Other Business Activities

2013 FINRA. All rights reserved .

What you should know about reported disclosure events:

2 013 FINRA. All rights reserved .

2013 FINRA. All rights reserved.

Disclosure Event Details

Customer Dispute - Settled

Customer Complaint Information

Broker CENTAURUS FINANCIAL, INC.

Customer Complaint Information

05/30/2013 $17 ,388.98 $0.00

Firm QUESTAR CAPITAL CORPORATION , CENTAURUS FINANCIAL, INC .

Product Type: Alleged Damages:

12-02318 07/16/2012 No Settled 07/22/2013 $32 ,500 .00

2013 FINRA. All rights reserved .

QUESTAR CAPITAL CORPORATION , CENTAURUS FINANCIAL, IN C.

Product Type: Alleged Damages:

$32 ,500 .00 $0 .00

Product Type: Alleged Damages:

2013 FI NRA. All rights reserved.

Product Type: Alleged Damages:

www .finra .orq/brokercheck

Disposition: Disposition Date: Monetary Compensation Amount: Individual Contribution Amount:

Settled 04/02/201 3 $40 ,000 .00 $0 .00

Product Type: Alleged Damages:

12-00140 01/27/2012 No Settled 04/02/2013 $40 ,000 .00 $0 .00

QUESTAR CAPITAL CORPORATION

Customer Complaint Information

Broker QUESTAR CAPITAL CORPORATION

$255 ,000 .00 No

FINRA 11-04444 11/22/2011

Customer Complaint Information

03/13/2013 $72,500.00 $0.00

CENTAURUS FINANCIAL, INC.

201 3 FINRA. All rights reserved.

www .finra .orQ/brokercheck

Customer Complaint Information

Broker CENTAURUS FINANCIAL, INC .

2013 FINRA. All rights reserved.

Real Estate Security

No No Yes FINRA DISPUTE RESOLUTION

Customer Complaint Information

Firm QUESTAR CAPITAL CORPORATION AND CENTAURUS FINANCIAL

Product Type: Alleged Damages:

Customer Complaint Information

10-00645 02/22/2010 No Settled 03/15/2011 $250,000.00 $0.00